President, B/D Compliance Associates, Inc.
127 Main Street NW
Lilburn, GA 30047
Broker/dealer compliance, supervisory systems, suitability, investment analysis, private placements, public offerings, due diligence, employment disputes, main and branch office compliance reviews, anti-money laundering.
I am a former retail broker and former Senior Examiner for FINRA with a unique perspective on rules and regulations from both the street side of the aisle and the regulatory side of the aisle. I have owned and operated B/D Compliance Associates, Inc. for the last 20+ years.